‘In this world, nothing is certain except death and taxes’ — but what about regulatory change for the investment management industry?

Paul Lumsden and Simon Harris
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Paul Lumsden: Investment Solutions Consultants (ISC), UK
Simon Harris: Investment Solutions Consultants (ISC), UK

Journal of Securities Operations & Custody, 2024, vol. 16, issue 4, 316-327

Abstract: This paper seeks to highlight and address some of the key questions and challenges facing investment management companies navigating a geopolitical and economic landscape that continues to experience significant regulatory change. Managing the complexities of regulatory changes requires a strategic, integrated approach. By staying informed, leveraging technology, prioritising investor protection, engaging effectively with the board and ensuring robust governance and operational resilience, investment management companies can effectively overcome these challenges and maintain compliance in an ever-changing regulatory environment.

Keywords: regulatory change; culture; innovation; regulator; governance; operational resilience; horizon scanning; data lineage (search for similar items in EconPapers)
JEL-codes: E5 G2 K22 (search for similar items in EconPapers)
Date: 2024
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